[ref. b76446424] Compliance Officer

FULLY HOME BASED

Assisting the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system. Helping to maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.

Key Responsibilities:

• Assisting the team to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm.
• Dealing with day-to-day team queries in the Managers absence
• Assisting with compliance induction for new staff
• Providing guidance and support to advisers and support staff
• Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed.
• Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks
• Maintaining accurate, up to date and detailed compliance records and registers
• Up-dating policies and procedures as and when required
• Contribute to the effectiveness of the Group through delivering coaching and training sessions as required.
• Preparing governance packs/ board packs as required
• Assisting in preparing MI

Qualifications and Experience:

• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
• Experience of internal file reviews of new business and annual client reviews, complaints handling.
• Case checking (in pension transfer or mortgage checking) experience is ESSENTIAL.
• A good understanding and knowledge of relevant FCA rules.
• A good understanding of complaints procedures.